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$ 0.735-41 Gambling, betting, and lot. the Department as his employer. In the teries.

event of dispute between an employee (a) An employee shall not participate

and an alleged creditor, this section does while on Government-owned or leased

not require the Department to determine property or while on duty for the Gov

the validity or amount of the disputed ernment, in any form of gambling, bet

debt. ting, lotteries or the sending of chain $ 0.735-44 Care of documents. letters, even if such activities are in support of a worthy cause. However, this

The care of Government documents

is a Federal requirement which is regusection does not preclude activities necessitated by an employee's law enforcement

lated by legislation. All records and duties. (See $ ß 91.7, 407.7 and 605.7 of

documents in the custody of employees this title.)

are in their custody for official purposes (b) Possession on Government-owned

only. It is unlawful to remove or con

ceal, alter, mutilate, obliterate or destroy or leased premises of any numbers slip or ticket, record, notation, receipt, or

records or documents or to remove or

attempt to remove them from official cusother writing of a type ordinarily used in any illegal form of gambling such as

tody with the intent of performing any

of the above actions (18 U.S.C. 2071). a tip sheet or dream book, unless explained to the satisfaction of the head of

Employees must not remove records and

documents from official files without apthe bureau or his delegate, shall be prima facie evidence that the employee is par

proval from proper authority. Working ticipating in an illegal form of gambling

papers, copies of reports and other offi

cial records and documents shall be on such premises.

promptly sent to file when no longer $ 0.735-42 Use of intoxicants.

needed for official purposes. Disposal or Employees must refrain from using in

destruction of records and documents is toxicants habitually to excess or in any to be made in accordance with estabway which adversely affects their work lished requirements. There are specific performance (5 U.S.C. 7352).

instructions relating to the safeguarding [36 F.R. 6828, Apr. 9, 1971)

of classified information which are fur$ 0.735-43 Indebtedness.

nished to employees authorized to have

access to such information. See further Employees shall not without good rea

the regulations in Part 1 of this title son fail to maintain good credit and a

which implement 5 U.S.C. 301 and 552 reputation for prompt settlement of

and which govern the care and the distheir just financial obligations in a

closure of records in the Treasury Deproper and timely manner. They are

partment, and see the relevant regulaexpected to manage their private finan

tions, if any, issued by a bureau or office cial affairs in a manner which will not

to which the record belongs. cause embarrassment to the Treasury Department. This particularly includes

$ 0.735-45 Lending or borrowing just financial obligations to Federal,

money. State, and local governments for taxes Employees shall not, either directly or as well as private concerns and indi- indirectly, lend to or borrow from other viduals. A “just financial obligation," employees substantial sums of money. as used in this section, means one ac In negotiating loans from authorized knowledged by the employee; reduced to sources, such as credit unions, welfare judgment by a court; or, in the case of associations, commercial or private taxes, a final administrative determina banking institutions, etc., if the transtion confirmed by notice of a tax lien action involves the signature of one or issued by a governmental agency, Fed- · more endorsers or comakers, the boreral, State, or local. “In a proper and rower must not in any instance solicit, timely manner," as used in this section, or permit to be affixed to any instrument means in a manner which the Treasury as endorser or comaker, the signature Department determines does not, under of any Treasury employee who is under the circumstances, reflect adversely on his supervision.

$ 0.735–46 Use of Government cars.

Employees are prohibited from using Government cars for other than official purposes. Use of such cars for transportation of employees between their domiciles and places of employment can only be justified where affirmatively authorized by statute, as in 31 U.S.C. 638a. $ 0.735-47 Disclosure of information to

the public. Employees may not disclose official information without either appropriate general or specific authority under Department or bureau regulations. See further 31 CFR 1.8 and 1.9. $ 0.735–48 Giving testimony.

When directed to do so by competent Treasury authority, employees must testify or respond to questions (under oath when required) concerning matters of official interest. See further 31 CFR 1.10. & 0.735-49 Personal communications.

Employees may not conduct personal business while on official duty. Personal use of telephones is restricted to essential need. Employees who receive personal mail at their office will advise addressors to stop sending such mail to the Treasury Department address. $ 0.735-50 Use of Federal property.

Employees may not directly or indirectly use or allow the use of Federal property of any kind for other than oficially approved activities. They also have a positive responsibility to protect and conserve all Federal property including equipment and supplies, which is entrusted or issued to them. $ 0.735-50a Conduct in and on Treasury

buildings and grounds. Employees must adhere to the regulations governing conduct in and on the Treasury Building, and Treasury Annex Building, and grounds (Part 407 of this title); the Bureau of Engraving and Printing Building, and Bureau of Engraving and Printing Annex Building, and grounds (Part 605 of this title); and the Bureau of the Mint buildings and grounds located in Denver, Fort Knox, New York, Philadelphia, San Francisco, and West Point (Part 91 of this title);

and Treasury occupied General Services Administration buildings and grounds (41 CFR Subpart 101–19.3). $ 0.735-51 Influencing legislation or

petitioning Congress. Employees are prohibited from using Government time, money or property (as, for example, through sending telegrams or letters) to influence a Member of Congress to favor or oppose any legislation. This prohibition does not apply to the official handling through proper channels of matters relating to legislation affecting the Treasury Department (18 U.S.C. 1913); or to the rights of employees to petition Members of Congress either individually or collectively or to furnish information to any committee or member of either House of Congress (5 U.S.C. 7102). $ 0.735-52 Soliciting, selling, and can

vassing. Except when authorized by the head of the bureau, office or division concerned, and except as provided by $ 0.735–32, employees are prohibited from soliciting, from making collections, from canvassing for the sale of any article or from distributing literature or advertising matter in any space occupied by Treasury. 8 0.735-53 Civil Service examination

processes. Appointment and future advancement in the Federal career service are based on the important principle of individual merit and qualifications. The selection and merit competitive processes are protected by the Civil Service statutory provisions, 5 U.S.C. Chapter 33 and the Civil Service regulations. Employees shall not participate, either directly or indirectly, in any of the following actions: (a) Intentionally make a false statement or practice any deception or fraud in examination or appointment, (b) induce persons to withdraw from competition for competitive service positions, (c) engage in any improper activity with respect to the taking of Civil Service examinations and examination ratings, and (d) obstruct the right of any person to take examinations according to the Civil Service rules and regulations.

8 0.735–54 Falsification of official rec. claims from or by the Government (18 ords.

U.S.C. 285). Employees shall avoid making false,

(h) The prohibitions against the emmisleading or ambiguous statements, de ployment of a member of a Communist liberately or wilfully, whether verbal or organization (50 U.S.C. 784). written, in connection with any matter of (i) The prohibitions against (1) the oficial interest. Some of these matters disclosure of classified information (18 of oficial interest are: Transactions with U.S.C. 798, 50 U.S.C. 783); and (2) the the public, other Federal agencies or disclosure of confidential information fellow employees; application forms and (18 U.S.C. 1905). other forms which serve as a basis for (1) The prohibition against an emappointment, reassignment, promotion or ployee acting as the agent of a foreign other personnel actions; vouchers; leave principal registered under the Foreign records; work reports of any nature or Agents Registration Act (18 U.S.C. 219). accounts of any kind; afidavits; entry or (k) The prohibition against Federal record of any matter relating to or con- employment of any person convicted of nected with the employee's duties; and a felony in furtherance of, or while parreport of any moneys or securities re ticipating in, a riot or civil disorder ceived, held or paid to, for or on behalf

(5 U.S.C. 7313). of the United States (18 U.S.C. 1001).

(1) The tax imposed on certain em8 0.735-55 Miscellaneous statutory pro ployees (e.g., Presidential appointees, visions.

employees excepted under Schedule C. Bureau heads should advise employees employees whose compensation is equal of any laws which relate specifically to to or greater than that for GS-16, or employees in their bureaus. The atten executive assistants or secretaries to any tion of every employee is directed to the of the foregoing) who knowingly engage statutes relating to conduct listed below:

in self-dealing with a private foundation (a) House Concurrent Resolution 175,

(26 U.S.C. 4941, 4946). "Self-dealing" is 85th Congress, 2d Session, 72 Stat. B12,

defined in the statute to include certain the “Code of Ethics for Government

transactions involving an employee's reService" (5 U.S.C. 7301 note). (b) The prohibition placed on Treas

ceipt of compensation or other benefits ury Department employees against

such as a loan, or reimbursement for carrying on any trade in any public

travel or other expenses from, or his sale funds or debts or obtaining any per

to or purchase of property from, a private sonal gain from transacting the Depart foundation. ment's business (31 U.S.C. 1018).

(m) The prohibition against a public (c) Chapter 11 of Title 18, U.S.C. re official appointing or promoting a relalating to bribery, graft, and conflicts of tive, or advocating such an appointment interest as appropriate to the employees or promotion (5 U.S.C. 3110). concerned.

8 0.735-56 General conduct prejudicial (d) The prohibition against the mis

to the Government. use of the franking privilege (18 U.S.C. 1719).

An employee shall not engage in crim(e) The prohibition against counter inal, infamous, dishonest, immoral, or feiting and forging transportation re notoriously disgraceful conduct, or quests (18 U.S.C. 508).

other conduct prejudicial to the Gov(f) The prohibitions against (1) em

ernment. bezzlement of Government money or

STATEMENT OF EMPLOYMENT AND FINANproperty (18 U.S.C. 641); (2) failing to

CIAL INTERESTS account for public money (18 U.S.C. 643) and (3) embezzlement of the money or

8 0.735–70 Employees required to subproperty of another person in the pos

mit statements. session of an employee by reason of his Except as provided in 0.735–71 stateemployment (18 U.S.C. 654).

ments of employment and financial in(g) The prohibition against unau terests will be filed by the following thorized use of documents relating to employees:

(a) Those paid at a level of the Executive Schedule in Subchapter II of Chapter 53 of Title 5, United States Code.

(b) Those classified at GS-13 or above under 5 U.S.C. 5332, or at a comparable pay level under another authority, who are in positions, specifically identified in Appendix A to this part, the incumbents of which are responsible for making a Government decision or taking a Government action in regard to:

(1) Contracting or procurement;

(2) Administering or monitoring grants or subsidies;

(3) Regulating or auditing private or other non-Federal enterprise; or

(4) Other activities where the decision or action has an economic impact on the interests of any non-Federal enterprise.

(c) Those classified at GS-13 or above under 5 U.S.C. 5332, or at a comparable pay level under another authority, who are in positions, specifically identified in Appendix A to this part, which the Secretary of the Treasury has determined have duties and responsibilities which require the incumbent to report employment and financial interests in order to avoid involvement in a possible conflictsof-interest situation and carry out the purpose of law, Executive order, 5 CFR Part 735, and this part.

(d) Those classified below GS-13 under 5 U.S.C. 5332, or at a comparable pay level under other authority, who are in positions which otherwise meet the criteria in paragraphs (b) and (c) of this section, but only when the inclusion of the positions in Appendix A to this part has been specifically justified by the Secretary of the Treasury in writing to the Civil Service Commission as an exception that is essential to protect the integrity of the Government and avoid employee involvement in a possible conflicts-of-interest situation.

(e) Alterations to, deletions from, and other amendments of the list of positions in Appendix A to this part may be made under the criteria in paragraphs (b) through (d) of this section and are effective upon approval by the Secretary of the Treasury and actual notification to the incumbents. Amendments to the

list in Appendix A of this part shall be submitted annually for publication in the FEDERAL REGISTER. 8 0.735–70a Employee's complaint on

filing requirement. Employees shall have, in conformity with the grievance procedures prescribed in Treasury Personnel Manual Chapter 771-4 and the grievance procedures of the bureau or ofice in which the particular employee is employed, an opportunity for review of a complaint that his position has been improperly included in Appendix A of this part as one requiring the submission of a statement of employment and financial interests. $ 0.735–71. Exceptions.

(a) Employees in positions that meet the criteria in paragraph (b) of g 0.73570 may be excluded from the reporting requirement when the Secretary of the Treasury determines that:

(1) The duties of a position are such that the likelihood of the incumbent's involvement in a conflicts-of-interest situation is remote; or

(2) The duties of a position are at such a level of responsibility that the submission of a statement of employment and financial interests is not necessary because of the degree of supervision and review over the incumbent or the inconsequential effect on the integrity of the Government.

(b) A statement of employment and financial interests is not required by this part when the employee is required to report to the Chairman of the Civil Service Commission under section 401 of Executive Order 11222. $ 0.735-73 Form and content of state

ments. The statements of employment and financial interests required under this subpart for use by employees and special Government employees shall contain, as a minimum, the information required by the formats prescribed by the Civil Service Commission in the Federal Personnel Manual. Such statements shall not include questions that go beyond, or are in greater detail than, those included in the Commission's formats without the approval of the Commission.

$ 0.735–74 Time and place for submis.

sion of employees' statements. Each employee required to submit a statement of employment and financial interests shall submit that statement to the office or official designated by the bureau head not later than:

(a) Ninety days after the effective date of the regulations in this part (April 16, 1966) if employed on or before that effective date; or

(b) Thirty days after his entrance on duty but not earlier than 90 days after the effective date of the regulations in this part if appointed after that effective date (April 16, 1966). $ 0.735–75 Supplementary statements.

Changes in, or additions to, the information contained in an employee's statement of employment and financial interests shall be reported in a supplementary statement as of June 30 each year, except when the Civil Service Commission authorizes a different date. If no changes or additions occur, a negative report is required, and the notation "no change" should be made on the form. Notwithstanding the filing of the annual report required by this section, each employee shall at all times avoid acquiring a financial interest that could result, or taking an action that would result, in a violation of the conflicts-of-interest provisions of 18 U.S.C. 208, or Subpart B of 5 CFR Part 735 or this part. $ 0.735–76 Interests of employees' rela

tives. For purposes of completing the statements of employment and financial interests, the interest of a spouse, minor child, or other member of the employee's immediate household is to be considered an interest of the employee. In other words, those blood relations who are residents of the employee's household are to be treated for purposes of completing the financial statement as though they were the employee and therefore, the report of financial statements should reflect their employment and financial interests in the same manner that the employment and financial interests of the employee are shown. $ 0.735-77 Information not known by

employees. If any information required to be included in a statement of employment and financial interests or a supplementary statement including holdings placed in

trust is not known to the employee but is known to another person, the employee shall request that other person to submit the information in his behalf. $ 0.735–78 Information excluded.

The regulations in this part do not require an employee to submit on a statement of employment and financial interests or supplementary statement any information relating to the employee's connection with, or interest in, a professional society or a charitable, religious, social, fraternal, recreational public service, civic, or political organization or a similar organization not conducted as a business enterprise. For the purposes of the regulations in this part, educational and other institutions doing research and development or related work involving grants of money from or contracts with the Government are deemed "business enterprises" and are required to be included in an employee's statement of employment and financial interests. $ 0.735-79 Review of statements.

Presidential appointees who are heads of bureaus and those in the Office of the Secretary will file their statements with Secretary the General Counsel for his review. The General Counsel's statement will be filed with the Secretary, Heads of bureaus and their principal assistants or deputies who are not Presidential appointees will file their statements with the official in the Office of the Secretary to whom they report under Treasury Order 190, as revised. In a similar manner, financial statements of all Presidential appointees below the level of bureau head will be forwarded through the bureau head to the official in the Office of the Secretary to whom the bureau head reports. Each bureau will make provisions for a review of the statements submitted by other employees. This review may be made either by the bureau head or his designee. The system of review shall be designed to disclose conflicts of interest or apparent conflicts of interest on the part of employees. If information from the statements submitted or from other sources indicates a conflict of interest or an apparent conflict of interest, the employee concerned shall be given an opportunity to explain the conflict or apparent conflict. If the conflict or apparent conflict is not resolved at bureau or lower organizational level, the

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